Recent rule changes in the investment industry have highlighted the differences between Registered Investment Advisors (RIAs), who are legally obligated to put their client’s interests first, and brokers, who are not. Investors appear to be voting with their assets in choosing to work with RIAs over brokers. While the number of broker-dealers has steadily declined over the last 15 years, the RIA industry has averaged more than 8% annual growth in assets under management, making it the fastest-growing advisor channel. Try one of our Series 65 review classes with expert instructors. Read more exam details about the Series 65 exam, including exam restructuring, general information, and best practices.
However, we strongly recommend that you begin by taking each exam with the explanations appearing after your answer is selected. By including the corresponding explanations, you have the ability to reinforce the mindset necessary to getting the right answer. The goal is to fully understand the concepts, rather than to simply memorize answers. Regardless of whether your answer is correct, read the entire explanation.
I was able to pass the Series 66 and Series 65 with flying colors on the first try! Join our newsletter to get the study tips, test-taking strategies, and key insights that high-performing students use. The information is well organized and helps to highlight key concepts one would need to know.
As you can see, the guide covers the critical information required for the exam such as procedures, concepts, principles, and the vocabulary a candidate to the Series 65 examination must master. All over the US, the examination is administered by FINRA, and to register you need to submit a specific form and pay the examination fee. Once registered, a student has a window of 120 days to schedule the examination. Because if you’re going to shift to a more levelized compensation model, most advisors find once their assets grow to a certain point, that it’s hard to justify being on a broker-dealer. You can establish your own RIA, pay your own operating expenses, outsource your investments to a third-party asset manager, and still net more take-home dollars as an advisor.
Frankly, I think a lot of it just varies on your comfort level with studying material and taking tests. Assuming you are working full-time while preparing for the examination, you should allow yourself 4-8 weeks or 80 hours to read through the material and complete practice exams. Our practice exams are carefully constructed to match what you’ll see on the actual Series 65, based on over a decade of training experience. Furthermore, our math-based questions are templatized so that you see different numbers each time, ensuring that you’re learning the underlying concept and not just the right answer. The final examinations and corresponding explanations represent the most important part of your exam preparation.

D. It includes provisions for other areas of securities law, including insider trading, antifraud, and proxy solicitation. Its membership consists of administrators from the territories, districts, and states of the U.S., Mexico, and Canada. We strive to keep our descriptions accurate and our shipping fast. We are available to answer any questions you may have prior to ordering about the product or shipping. NRS is a good no-nonsense way to prepare for the Series 65 exam. It may not have much in the way of extra content, but what it does have is solid and works well.
It’s towards the lower end if you just get self-study materials, and towards the higher end if you’re going to get live or video instructors, and good Series 65 practice exam questions as well. “The Series 65 Exam Practice Question Workbook” provides over 700 comprehensive practice questions to prepare for the demanding three-hour Uniform Investment Adviser Law Examination (Series 65). Master exam topics with intensive practice in the areas you’ll find on the test. All questions are test-level difficulty and focused solely on helping you pass. Whether you’re challenging the exam for the first time or trying again after an unsuccessful attempt, you will learn the critical skills needed to master the exam. Although ExamFX does has live content, it can be pretty limited.
Learn from expert instructors with in-depth videos covering the major topics of the qualification exam. Our OnDemand class allows you to prepare at recommended times during your study program. You are given access to review classes at any time and as often as you like.
Kaplan does not offer a money-back guarantee, but they do boast an 88% pass rate among students who have completed their course and taken their Series 65 exam. You’ll also have access to the course for five months; if you want more time, an additional five months’ access can be purchased for $49. If you need individual assistance at any time during your course, InstructorLink is an online resource that lets you communicate with experts and get your questions answered within two business days. They also offer a money-back guarantee if you don’t pass the Series 65 exam on the first try.
Experience the same instructor interaction and support as a traditional live class with the convenience of online study. Prepare with a scheduled live class online, and then have access to an archived version of the class to review anytime, anywhere. The Checkpoint Exams, located at the end of each unit in your License Exam Manual, are designed to gauge your comprehension of the material.
The Mastery Exam is similar to the Practice Exam and provides an additional simulated exam with unique questions. There are no U.S. citizenship requirements to become Series 65 licensed. FINRA will assign an ID number for the purposes of taking the test for those who do not have a social security number. If English is a second language for the test taker, FINRA may make accommodations for the candidate to complete the test in four hours.
That’s why it’s highly recommended that you try one of the best Series 65 study guides before taking it if you want to pass on your first try. More than 1500 Flashcards can be organized by course, chapter or FINRA exam sections; this study tool will allow you to test yourself, whenever, wherever you have internet access. The Flashcards are available for 6 months from the first time of usage. (Extra time is available for an additional fee) Although no purchase of STC study material is required, we strongly recommend that a study program be used along with the Flashcard series.

This three-hour test is given every day of the week, except Sundays. There are 140 multiple-choice questions, although 130 questions count toward the pass-fail grade. Each week on Wednesday we post a new Question of the Week video on our YouTube page. Check out this QOTW video in which Suzy explains 10 practice questions.
First off, there are thousands of questions in the testing company’s database. Just before you start your exam, their system actually randomly generates your exam for you. You cannot memorize any providers Series 65 practice exam questions and pass this exam. You must understand the underlying concepts the exam questions are based upon.
However, if you choose one of the top two course tiers and follow the course requirements, you’ll get your money back if you fail your exam. Our Test Prep resources will help you prepare for exams with fun, engaging, and relatable materials that bring the test to life. If you plan to be in the business of providing investment advice for a fee, an exam is in your future. You become qualified to work as a representative of an Investment Advisory Firm only after passing the Series 65. Finally, the ‘Series 65 Practice Exams and Study Guide’ and the ‘Series 65 Exam Practice Questions’ are great for assessing your knowledge and identifying any weak points in your preparedness.

Pro – Pass Guarantee

You still have to register as an investment advisor, either with the state, or with the SEC if you’re going to be across multiple states and you’re eligible by assets. The professional designations don’t waive the requirement to register as an investment adviser. They just waive the requirement to do the Series 65 exam as part of your overall registration requirements. One of the nice things about this Series licensing exam though, unlike most other FINRA series exams, is that you don’t have to be sponsored by a broker-dealer in order to take it. In fact, usually the whole point is you’re going to become the Registered Investment Advisor instead of working under a broker-dealer!
The Midterm Exam is a cumulative exam designed to test your comprehensive knowledge at the midpoint of your exam preparation. This exam can be taken only once and provides answers and detailed rationales for each question. This exam simulates the actual exam and features questions you haven’t seen in your studies thus far. Trust us, you will not find anyone selling a copy of the Series 65 exam.
Some available accommodations are extra time, a reader, large print exam book, and separate testing room. All of the testing centers are accessible for wheelchairs, so if you require this, there is no need to submit a form for this accommodation. Students who have studied for their securities exams with Achievable have gone on to work for some of the top financial institutions in the world, including Blackrock and Goldman-Sachs. The secret to their success is a powerful adaptive learning tool that utilizes spaced repetition to ensure that each concept is fully memorized and understood before moving on. There are many different course structures and features to choose from, and with average pass rates as high as 90%, it’s easy to see the value of many of these courses.

Residents of other states will have to settle for a live online course if they want interactive instruction. Your instructor will go over the key topics covered on the Series 65 exam and answer any questions you have. All course options include study tools to help you succeed, which may include a question bank, practice and checkpoint exams, a study calendar, performance tracker, and a video library.
You’ll receive a printout with your score immediately after the exam, and a copy is sent to the FINRA Central Registration Depository. Passing the exam will qualify you to act as an Investment Adviser Representative in some locations, but the test is not easy! Given the exam difficulty and cost, it’s important to prepare yourself going in, and a quality study guide can help get you there. The Series 65 is one of the most difficult exams administered by the Financial Industry Regulatory Authority. Though you only need to score 72% to pass the Series 65 exam, you have to consider that there are only 130 questions for you to answer. That means that your window of making a mistake is a lot smaller.
Because of that, you’ll be able to learn what you need to know with minimal effort. Plus these go great with the practice tests that are also included. What makes this book a highly recommended Series 65 study guide is that it provides you with a new way of studying for the test. It focuses entirely on Series 65 practice exam questions to make sure you do not run out of ways of testing out your knowledge and skills.
We like that every piece of information is well-explained (not just described). Also, the general content structure follows a logical path and, students are not in danger of getting lost in a dense academic language. In other words, it’s not just about acting in the client’s best interest; you have to actually be competent in what you’re doing. So Series 65 is a minimum licensing requirement, not a best practice. But it’s something that you can work up towards, and if you start with your Series 65, you can move on to your CFP. But when you think about it, the Series 65 is the only dividing line between a person off the street and a consumer’s life savings.
Take a FREE sample exam by clicking the “FREE PRACTICE EXAMS” link above. Designed

Online Course Package

to work with the Solomon Series 65 Study Guide, the Solomon Series 65 Exam Simulator offers thousands of practice
questions so you can hone, track and assess your knowledge. Once you’ve read
the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.

When you purchase the Test Geek program, you’ll get a 30-day money-back guarantee and lifetime access to the course from any device. You’re able to watch the video lectures as often as you’d like, whenever and wherever you need. Packages include a mobile e-book along with live chat and phone support. Students will have access to a test bank, though it is smaller than those offered by some competitors’ courses. If you want to build on your course, there are options available such as online video classes and a paper textbook. Known as the Uniform Securities Agent State Law Examination, the Series 63 consists of 60 questions and has a strict time limit of 75 minutes.
This will show you exactly what your weak areas are and where you need to devote more study time. Do you need more repetitions on this type of question to build speed and confidence? Dig into those questions and figure out how you can strengthen your weak areas as you go back to review the material. For top question bank pick, we recommend Series 65 Practice Question Workbook. It’s got 6 full length tests worth of questions that are relevant and similar to what you’ll find on the exam. Most people only spend about 2-4 weeks preparing for the Series 65, with a couple of hours of focused study per day.